Nylife Securities LLC

There are Recent Customer Complaints with Broker Eric Bernhard in Firm Nylife Securities LLC

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Bernhard (Bernhard), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bernhard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $65,000.00 on October 31, 2025.

The Claimant alleges he was misled into purchasing Energy 11 LP on July 14, 2016

There are Recent Customer Complaints with Broker Bernadette Baumgarten in Firm Nylife Securities LLC

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernadette Baumgarten (Baumgarten), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baumgarten recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $388,351.00 on November 12, 2025.

Claimant alleges the failure to protect her from vulnerable investor financial exploitation was a breach of the duty to act in her best interest. Claimant demands damages in the amount of not less than $388,351, plus interest, costs, attorney’s fees, and punitive damages.

There are Recent Customer Complaints with Broker Stephen Frantz in Firm Nylife Securities LLC

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Frantz (Frantz), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Frantz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer’s POA alleges that the recommendation to purchase annuities, including variable annuities purchased in June 2006 and March 2017 resulted very little liquidity. The POA requests to transfer or rollover the funds without any surrender fees or other penalties.

There are Recent Customer Complaints with Broker Ammie Mareez De Los Reyes in Firm Nylife Securities LLC

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ammie Mareez De Los Reyes (De Los Reyes), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that De Los Reyes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not accurate.

Broker Antonio Hernandez in Nylife Securities LLC Firm Has Customer Complaint

December 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Hernandez (Hernandez), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hernandez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not\, accurate.

Broker Joel Flaningan in Nylife Securities LLC Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Flaningan (Flaningan), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Flaningan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 11, 2022.

Plaintiff alleges that in or about June 2017, she was misled into investing $97,000.00 in an unregistered security in the form of a PRMH Lenders Fund II, LLC. Promissory Note. Plaintiffs seek actual damages, interest, attorney’s fees and costs.

There are Recent Customer Complaints with Broker Michael Lawson in Firm Nylife Securities LLC

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lawson (Lawson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,781.21 on February 14, 2022.

Customer alleges that he was misled regarding the surrender period and charges related to variable annuity purchased in January 2016.

Broker Christine Brezovsky in Nylife Securities LLC Firm Has Customer Complaint

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Brezovsky (Brezovsky), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brezovsky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,525.40 on March 04, 2022.

Customer alleges that in June 2021 he was not informed of the tax implications of surrendering a variable Universal Life Insurance policy with outstanding loans to fund a new policy with improved terms.

There are Recent Customer Complaints with Broker Emy Pham in Firm Nylife Securities LLC

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emy Pham (Pham), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Customer alleges that he does not fully understand the benefit of his existing policies including two separate Variable Universal life insurance policies he purchased in April 2020 and December 2020, respectively, as well as a Variable Annuity purchased in September 2020.

Broker Robert Devito in Nylife Securities LLC Firm Has Customer Complaint

December 4, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Devito (Devito), currently associated with Nylife Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Devito concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $9,798.59 on March 16, 2022.

Time Frame: Unspecified. The matter is comprised of 61 individual claimants with the same alleged allegations of unsuitable investments, excessive trading, and failure to supervise. RR covered services for 1 claimant in this matter.